Uncategorized Contracts & Agreements in the Capital Markets Industry

3,241 Contracts & Agreements
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Ameriprise Financial
Capital Markets
2011
Seventh Amendment to Investor Agreement, dated October 13, 2023, between Morgan Stanley and Mitsubishi UFJ Financial Group, Inc
Morgan Stanley
2023
Stockholders Agreement, dated as of November 1, 2023, by and among Nasdaq, Inc., Adenza Parent, LP and Thoma Bravo, L.P
Nasdaq, Inc.
2023
Amended and Restated Tax Receivable Agreement, dated November
TPG Partners, LLC
2023
Amendment No. 2 to the Transaction Agreement, dated
TPG Partners, LLC
2023
Letter Agreement, dated October 30, 2023, by and between the Company and Amber Mason
Ascendant Digital Acquisition Corp.
2023
Third Amendment to Real Estate Sale Agreement, dated as of September 21, 2023, between Donnelley Financial, LLC and Aspirant Partners, LLC
Donnelley Financial Solutions, Inc.
2023
Letter Agreement, dated October 20, 2023, by and between the Company and F. Porter Stansberry
Ascendant Digital Acquisition Corp.
2023
Letter Agreement, dated October 16, 2023, by and between the Company and Marco Ferri
Ascendant Digital Acquisition Corp.
2023
Description of Securities
CM Finance Inc
2023
First Amendment to Rights Agreement, dated as of September 15, 2023, by and between P10, Inc. and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company, LLC)
P10, Inc.
2023
Offer Letter, dated September 18, 2023, between Cboe Global Markets, Inc. and Fredric J. Tomczyk
Cboe Global Markets
2023
Letter Agreement, dated September 18, 2023, between Cboe Global Markets, Inc. and Edward T. Tilly
Cboe Global Markets
2023
Letter Agreement, dated August 8, 2023, by and between Piper Sandler Companies and Katherine P. Clune
Piper Jaffray Companies
2023
Agreement, dated as of September 8, 2023, by and between MarketWise, Inc., F. Porter Stansberry and Stokes Holding
Ascendant Digital Acquisition Corp.
2023
Description of Securities
PROSPECT CAPITAL CORP
2023
Eighth Amendment, dated as of September 6, 2023, by and among BlackRock Capital Investment Corporation, the Subsidiary Guarantors party thereto, the Lenders party thereto and...
BlackRock Capital Investment Corp
2023
Amendment No. 1 to Controlled Company Agreement, dated as of May 16, 2023
P10, Inc.
2023
Amendment Agreement by and between Bakkt Holdings, Inc., Apex Fintech Solutions Inc. and PEAK6 Investments LLC
VPC Impact Acquisition Holdings
2023
Principals Agreement, dated as of August 7, 2023, by and among Blue Owl Capital Inc. and each of Douglas Ostrover, Marc Lipschultz, Craig Packer, Alan Kirshenbaum, Marc Zahr,...
ALTIMAR ACQUISITION CORP.
2023
First Amendment to Custody Agreement between Runway Growth Finance Corp. and US Bank National Association
Runway Growth Credit Fund Inc.
2023
Agreement dated February 9, 2015 between Freedom Finance Joint Stock Company and Evgeniy Ler
Freedom Holding Corp.
2023
Agreement with Member of the Board of Directors dated July 24, 202
Freedom Holding Corp.
2023
Agreement with Member of the Board of Directors dated July 24, 2020 Freedom Finance Global PLC and Askar Tashtitov
Freedom Holding Corp.
2023
Response to Notice of Increase Request, dated July 26, 2023, by and among the Registrant and Sumitomo Mitsui Banking Corporation
Main Street Capital CORP
2023
Deed of Amendment, dated July 12, 2023, to the Amended and Restated Deed of Adherence, between Sean A. Windeatt and BGC Services (Holdings) LLP
BGC Partners, Inc.
2023
ARTISAN PARTNERS ASSET MANAGEMENT INC. 2023 NON-EMPLOYEE DIRECTOR PLAN Table of Contents
Artisan Partners Asset Management Inc.
2023
ARTISAN PARTNERS ASSET MANAGEMENT INC. 2023 OMNIBUS INCENTIVE COMPENSATION PLAN Table of Contents
Artisan Partners Asset Management Inc.
2023
Equity Commitment Letter, dated as of May 10, 2023, by and between B. Riley Financial, Inc., Freedom VCM, Inc. and Freedom VCM Holdings, LLC
B. Riley Financial, Inc.
2023
Description of Securities
GLADSTONE INVESTMENT CORPORATION
2023
Form of Apollo Carry Award
Tango Holdings, Inc.
2023
CUSTODY AGREEMENT dated as of November 2, 2022 by and between Stellus Capital SBIC LP (Company) and FROST BANK, a Texas state bank (Custodian)
Stellus Capital Investment Corp
2023
Commitment Increase Agreement dated April 21, 2023 among Carlyle Secured Lending, Inc., as borrower, the Lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative...
TCG BDC, INC.
2023
Form of Apollo Carry Award
Apollo Global Management LLC
2023
Fourth Amended and Restated Tax Receivable Agreement, dated May 1, 2023
Ares Management Corp
2023
Subsidiary Issuer of Guaranteed Securities
The Bank of New York Mellon Corp.
2023
Letter Agreement between Gregory McGreevy and Invesco Ltd., dated February 14, 2023
Invesco Ltd.
2023
Letter Agreement between Martin Flanagan and Invesco Ltd., dated February 28, 2023
Invesco Ltd.
2023
Stockholders Agreement
SIEBERT FINANCIAL CORP
2023
Support and Restrictive Covenant Agreement
SIEBERT FINANCIAL CORP
2023
Support and Restrictive Covenant Agreement
SIEBERT FINANCIAL CORP
2023